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Showing 2061 - 2070 of 2080 results for "Australian Securities"

ASIC reaches agreement with former One.Tel boss

John Fernando The Australian Securities and Investments Commission (ASIC) has reached a $750,000 agreement with former One.Tel director Bradley Keeling following court proceedings against him. Keeling, along with Jodee Rich, Mark Silbermann and John ...

ASIC suspends registration of Sydney-based liquidator

John Fernando The Australian Securities and Investments Commission (ASIC) today announced the suspension of registration of John Greer as both a registered company auditor and registered liquidator for a period of four years as he failed to adequately ...

Financial services urged to obtain their AFS licenses soon

John Fernando The Australian Securities and Investments Commission (ASIC) today reminded all financial service providers that they must obtain their Australian financial services (AFS) licence in time if they are to continue operating beyond March 10 ...

ASIC "disappointed" with fundraising non-disclosures

John Fernando The Australian Securities and Investments Commission (ASIC) announced today that it had issued 51 interim stop orders and eight final stop orders on prospectuses or Offer Information Statement (OIS) since July 1 2002. The announcement ...

Footscray super accounting assistant pleads guilty to fraud

... superannuation funds to pay out cash benefits to his clients. The charges were filed against Ngo by the Australian Securities and Investments Commission (ASIC) under the superannuation industry (Supervision) Act. The charges were based on a total of ...

ASIC blacklists ex-Colonial planner for client 'churning'

... commissions by 'churning' the superannuation funds of approximately 73 clients has given an undertaking to the Australian Securities and Investments Commission (ASIC) that he will not act as a representative of an Australian Financial Services (AFS) ...

ASIC extends transitional relief period for closed funds to 2010

John Fernando The Australian Securities and Investments Commission (ASIC) today announced that it would extend the period of transitional relief, which would negate costs, burdens and investor protections related to transitional and registration requirements ...

Planners concede need for tighter policing: Adviser Ratings

... In a survey of 700 planners conducted in the wake of the damning Australian Consumers Association (ACA)/Australian Securities and Investments Commission (ASIC) report, Adviser Ratings said that 94 per cent thought that "policing and prosecution of regulation ...

Repeat offender gets ASIC life ban

John Fernando The Australian Securities and Investments Commission (ASIC) has permanently banned Robert Reynolds from acting as a representative of a securities dealer or an investment adviser, it said today. Reynolds, of Queensland, was handed down ...

ASIC moves to prevent repetition of Groundhog scheme

... million from 161 Australian investors in a scheme that had promised returns of 10 per cent per month. The Australian Securities and Investments Commission (ASIC) said today it had applied for orders to wind up Groundhog Developments, Enterprise Management ...